EVICTION PREVENTION-MARICOPA COUNTY.PDF

FUNDING AGREEMENT
with
ARIZONA DEPARTMENT OF HOUSING
Table of Contents
SECTION 1. FUNDS PROVIDED .......................................................................................................................... 2
SECTION 2. OTHER FUNDS .................................................................................................................................. 3
SECTION 3. ACCEPTANCE OF FUNDS .............................................................................................................. 3
SECTION 4. DURATION ........................................................................................................................................ 3
SECTION 5. INCORPORATION OF TERMS FOR COMPLIANCE WITH PROGRAM
REQUIREMENTS AND APPLICABLE STATE AND FEDERAL LAW ...................................................... 3
SECTION 6. SCOPE OF WORK ............................................................................................................................. 5
SECTION 7. REPORTS ............................................................................................................................................. 5
SECTION 8. SCHEDULE OF COMPLETION ...................................................................................................... 7
SECTION 9. BUDGET .............................................................................................................................................. 8
SECTION 10. AMENDMENTS AND MODIFICATIONS ................................................................................ 9
SECTION 11. ENVIRONMENTAL REVIEW CONDITIONS .......................................................................... 9
SECTION 12. APPLICATION AND OTHER PRE-AWARD COSTS ............................................................ 10
SECTION 13. COMPENSATION AND METHOD OF PAYMENT .............................................................. 11
SECTION 14. FUNDS RECOUPED BY RECIPIENT, INTEREST AND PROGRAM INCOME .............. 11
SECTION 15. DE-OBLIGATION, RECAPTURE AND REPAYMENT OF FUNDS .................................... 13
SECTION 16. REVERSION OF ASSETS ............................................................................................................ 14
SECTION 17. DEPARTMENT OF HOUSING RESPONSIBILITIES ............................................................ 15
SECTION 18. SUBCONTRACTING .................................................................................................................... 15
SECTION 19. FAILURE TO MAKE PROGRESS............................................................................................... 15
SECTION 20. TERMINATION FOR CAUSE ..................................................................................................... 16
SECTION 21. TERMINATION FOR CONVENIENCE .................................................................................... 16
SECTION 22. ENFORCEMENT ............................................................................................................................ 16
SECTION 23. CANCELLATION .......................................................................................................................... 17
SECTION 24. RECORDS RETENTION .............................................................................................................. 17
SECTION 25. NO OBLIGATION OF STATE GENERAL APPROPRIATIONS FUNDS .......................... 18
SECTION 26. AVAILABILITY OF FUNDS ........................................................................................................ 18
SECTION 27. APPLICABLE LAW AND ARBITRATION ............................................................................... 19
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FUNDING AGREEMENT
with
ARIZONA DEPARTMENT OF HOUSING
Table of Contents
SECTION 28. INDEMNIFICATION .................................................................................................................... 19
SECTION 29. FEDERAL GOVERNMENT LIABILITY .................................................................................... 19
SECTION 30. AUDIT .............................................................................................................................................. 19
SECTION 31. AUDIT EXCEPTIONS ................................................................................................................... 19
SECTION 32. UNALLOWABLE USE OF FUNDS ............................................................................................. 20
SECTION 33. INTEREST OF MEMBERS OF DEPARTMENT OF HOUSING AND OTHERS .............. 20
SECTION 34. ACCESS TO RECORDS, PARTICIPANTS AND STAFF ...................................................... 20
SECTION 35. IDENTIFICATION OF DOCUMENTS ..................................................................................... 20
SECTION 36. COPYRIGHT ................................................................................................................................... 20
SECTION 37. RIGHTS IN DATA......................................................................................................................... 21
SECTION 38. FUNDING CONDITIONS ........................................................................................................... 21
SECTION 39. NON-DISCRIMINATION ........................................................................................................... 21
SECTION 40. THIRD PARTY ANTITRUST VIOLATIONS .......................................................................... 22
SECTION 41. COMPLIANCE REQUIREMENTS FOR A.R.S. § 41-4401—IMMIGRATION LAWS AND
E-VERIFY REQUIREMENT ............................................................................................................................... 22
SECTION 42. INSURANCE ................................................................................................................................... 22
SECTION 43. PRIVACY CONSIDERATIONS .................................................................................................. 25
SECTION 44. NOTICES ......................................................................................................................................... 25
SECTION 45. REGISTRATION WITH SOCIAL SERVE ................................................................................ 25
SECTION 46. ADOH SIGNAGE .......................................................................................................................... 26
SECTION 47. PHOTOGRAPHS ........................................................................................................................... 26
SECTION 48. STATE OF ARIZONA ................................................................................................................... 26
SECTION 49. A.R.S. §35-393.01 ............................................................................................................................. 26
SECTION 50. SEVERABILITY .............................................................................................................................. 26
SECTION 51. EMPLOYMENT DISCLAIMER ................................................................................................... 26
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FUNDING AGREEMENT
with
ARIZONA DEPARTMENT OF HOUSING
Table of Contents
ATTACHMENTS
A Scope of Work
B Performance Report/Schedule of Completion
C Budget
D Request for Payment Form
E Special Conditions of the Agreement
F Certification and Other Requirements Relating to Title I or Title II Assistance
G Authorizing Resolution(s)
H Additional Provisions of the 2013 HOME Final Rule (Effective August 23, 2013)
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Funding Agreement with
State of Arizona, Department of Housing
AGREEMENT NO. 523-19
TERMINATION DATE 04/30/2020
FUNDING AGREEMENT
BETWEEN THE ARIZONA DEPARTMENT OF HOUSING
AND
MARICOPA COUNTY
FOR
HOUSING TRUST FUND-EVICTION PREVENTION PROGRAM
This Funding Agreement is made by and between:
The Arizona Department of Housing (“ADOH”), located at, 1110 West Washington Street,
Suite 280, Phoenix, Arizona 85007, acting pursuant to A.R.S. § 41-3953 and (please select
applicable funding source):
Title I of the Housing and Community Development Act of 1974, as amended
(Community Development Block Grant) (“CDBG”).
Title II of the National Affordable Housing Act of 1990, as amended (HOME
Investments Partnerships Program) (“HOME”).
A.R.S. § 41-3955 (State Housing Trust Fund) (“HTF”).
A.R.S. § 41-3957 (State Housing Program Fund) (“HPF”).
The AIDS Housing Opportunity Act of 1992, as amended, 42 U.S.C. Section 12902
(Housing Opportunities for Persons with HIV/AIDS) (“HOPWA”).
Title IV Part 578 of the McKinney-Vento Homeless Assistance Act of 1987, as
amended, 42 USC. 11301 et seq. and the Continuum of Care Program regulations as
amended by the Homeless Emergency Assistance and Rapid Transition to Housing
(HEARTH) Act of 2009 (Continuum of Care) (“COC”).
Title I of the Housing and Economic Recovery Act of 2008, Section 1338 (Public Law
110-289). (National Housing Trust Fund) (“NHTF”).
Part A of the Energy and Conservation in Existing Buildings Act of 1976, as amended
and 42 U.S.C. Section 6861 (Department of Energy Weatherization Assistance Program
for Low Income Persons) (“DOE WAP”).
Low Income Energy Assistance Act of 1981, as amended, 42 U.S.C. Section 8621-8630,
(Low Income Home Energy Assistance Program) (“LIHEAP WAP”).
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Funding Agreement with
State of Arizona, Department of Housing
Southwest Gas Corporation, Weatherization Assistance Program (“SWG WAP”).
and
MARICOPA COUNTY
(Entity)
An Arizona County (“Recipient”) DUNS #050391270, located at
234 N. Central, Suite 3000
Street
Phoenix, AZ 85004
City State Zip
In consideration of the mutual representations and obligations hereunder,
ADOH and Recipient agree as follows:
Section 1. FUNDS PROVIDED
ADOH agrees to provide $464,250.00 in the following type of funds to Recipient in
accordance with this Agreement. ADOH is entitled to change the funding sources as
described in this section, in its sole discretion, so long as the total amount of funds to be
disbursed is not affected thereby.
CDBG, CFDA # 14.228
Federal Fiscal Year
$
HOME, CFDA # 14.239
Federal Fiscal Year
$
HTF
State Fiscal Year 2019
$464,250.00
HPF
State Fiscal Year
$
HOPWA, CFDA # 14.241
Federal Fiscal Year
$
COC, CFDA # 14.267
Federal Fiscal Year
$
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Funding Agreement with
State of Arizona, Department of Housing
NHTF, CFDA # 14.275
Federal Fiscal Year
$
DOE WAP, CFDA # 81.042
Federal Fiscal Year
$
LIHEAP WAP, CFDA # 93.568
Federal Fiscal Year
$
SWG WAP
State Fiscal Year
$
Section 2. OTHER FUNDS
If applicable, Recipient agrees to secure funding other than that listed in Section 1 for
the completion of this Agreement as indicated in the Budget attached hereto as Attachment
C. ADOH reserves the right to rescind some or all of the funding committed through this
Agreement if other funding sources become unavailable.
Section 3. ACCEPTANCE OF FUNDS
Recipient hereby accepts the award of funds under the terms of this Agreement and
agrees to execute and return this Agreement to ADOH within thirty (30) days of receipt unless
Recipient receives a written waiver of this requirement by ADOH.
Section 4. DURATION
This Agreement shall be effective beginning on the date of execution by ADOH and
shall remain in effect until 04/30/2020 unless sooner terminated, extended or otherwise
amended in accordance with the terms of this Agreement.
Section 5. INCORPORATION OF TERMS FOR COMPLIANCE WITH PROGRAM
REQUIREMENTS AND APPLICABLE STATE AND FEDERAL LAW
Recipient shall carry out each activity in compliance with all applicable State and
Federal laws, Federal regulations and other requirements including, but not limited to, the
provisions indicated as marked below and hereby incorporated into this Agreement, as if
fully set forth herein. Also incorporated into this Agreement as applicable, are the terms of
any resolution authorizing Recipient's application for funds, which is attached hereto as
Attachment G, Authorizing Resolution(s) and any Special Conditions of the Agreement
attached hereto as Attachment E.
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Funding Agreement with
State of Arizona, Department of Housing
CDBG funds require adherence to the following provisions as revised: (1) 24 CFR Part
570; (2) Certification and Other Requirements Relating to Title I Assistance attached hereto
as Attachment F; (3) the provisions contained in the State of Arizona Consolidated Plan;
(4) ADOH ERR Handbook; (5) ADOH Labor Standards Handbook; (6) CDBG Application
Handbook; (7) CDBG Grant Administration Handbook; and (8) CDBG Procurement,
Contracts and Acquisition Handbook (collectively “the Incorporated Documents”) as
each may be amended from time to time. In the event of a conflict between the terms
of this Agreement and the terms of the Incorporated Documents, the terms of this
Agreement shall govern.
HOME funds require adherence to the following provisions as revised: (1) 24 CFR Part
92; (2) Certification and Other Requirements Relating to Title II Assistance attached hereto
as Attachment F; (3) the provisions contained in the State of Arizona Consolidated Plan;
(4) ADOH ERR Handbook; (5) ADOH Labor Standards Handbook; and (6) the State
Housing Fund Program Summary and Application Guide.
HTF funds require adherence to the State Housing Fund Program Summary and
Application Guide as revised.
HPF funds require adherence to the Special Needs Housing Manual as revised.
COC funds require adherence to the following provisions as revised: (1) 24 CFR Part
578; and (2) the Special Needs Housing Manual.
HOPWA funds require adherence to the following provisions as revised: (1) 24 CFR
Part 574; and (2) the Special Needs Housing Manual.
NHTF requires adherence to the following provisions as revised: (1) 24 CFR Parts 91
and 93, Housing Trust Fund Interim Rule; (2) the provisions contained in the State of
Arizona Consolidated Plan; (3) State Housing Fund Program Summary and Application
Guide; (4) State of Arizona Qualified Allocation Plan; and (5) National Housing Trust
Fund Allocation Plan.
DOE WAP funds require adherence to the following provisions as revised: (1) 10 CFR
Part 440 as revised; (2) the Arizona Weatherization Assistance Program State Plan (State
Plan); (3) Health and Safety Plan (HSD Plan); (4) the Arizona Weatherization Policies and
Procedures Handbook; (5) Arizona Weatherization Assistance Program Field Guide; (6)
Standard Work Specifications; and (7) WAP Memorandum 15-10 Quality Management Plan.
LIHEAP WAP funds require adherence to the following provisions: (1) 45 CFR Part
96 as revised; (2) the Arizona Weatherization Assistance Program State Plan (State Plan);
(3) Health and Safety Plan (HSD Plan); (4) the Arizona Weatherization Policies and
Procedures Handbook; (5) Arizona Weatherization Assistance Program Field Guide; (6)
Standard Work Specifications; and (7) WAP Memorandum 15-10 Quality Management Plan.
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Funding Agreement with
State of Arizona, Department of Housing
SWG WAP funds require adherence to the following provisions: (1) the Arizona
Weatherization Assistance Program State Plan (State Plan); (2) Health and Safety Plan (HSD
Plan); (3) the Arizona Weatherization Policies and Procedures Handbook; (4) Arizona
Weatherization Assistance Program Field Guide; (5) Standard Work Specifications; and (6)
WAP Memorandum 15-10 Quality Management Plan.
Section 6. SCOPE OF WORK
Recipient agrees to utilize all funds made available under this Agreement only for the
purpose of implementing the Scope of Work hereby incorporated into this Agreement and
described in Attachment A.
Revisions to Scope of Work. Recipient agrees to follow the procedures indicated as
marked below regarding changes to the Scope of Work.
Revisions to the Scope of Work that change the manner in which an activity is to be
executed or that change final outcome such as number of units, feet of utility line, number of
households served, square footage of building, etc. require written approval from ADOH.
The following substantial revisions to the Scope of Work require written amendment to this
Agreement:
(a) The purpose of the project changes;
(b) The location of the project changes;
(c) A project activity is added, deleted or altered such that it becomes a different
activity;
(d) The beneficiary of any activity changes;
(e) Recipient is requesting a change to the loan or grant terms. Recipient must
submit a written request for an Agreement amendment to ADOH, with a
revised Scope of Work attached;
(f) The ownership entity changes; and
(g) Any other changes that involve program requirements.
ADOH will respond to the written request within fourteen (14) business days.
Amendments may not be implemented until ADOH consents in writing and an amendment
to the Agreement has been executed.
Section 7. REPORTS
Recipient shall be responsible for providing various reports of all activities related to
this Agreement as identified below and as requested by ADOH or HUD. Recipient shall also
provide to ADOH any additional written information requested by ADOH in a timely
manner and within reasonable deadlines as shall be set by ADOH.
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Funding Agreement with
State of Arizona, Department of Housing
7.1 Performance Report. Recipient agrees to submit the ADOH Performance Report
respective of the types of projects indicated below and attached as Attachment B.
HOME, NHTF, HTF funded rental development projects (“Rental Projects”). Or HPF
funded rapid rehousing projects: Recipient must submit a Bimonthly Performance
Report attached hereto as Attachment B. The Bimonthly Progress Report must be
submitted to ADOH on the 20th of January, March, May, July, September and
November and address activities of the preceding two (2) months (i.e. the January
report covers the months of November and December).
HOME, HTF and CDBG non-rental projects (“HOME, HTF and CDBG Non-Rental
Projects”). Recipient must submit a Monthly Progress Report attached hereto as
Attachment B. The Monthly Progress Report must be submitted to ADOH on the 15th
of each month and address activities of the preceding one (1) month (i.e. the July report
covers the month of June). Failure to submit timely Monthly Progress Reports will
result in suspension of payment reimbursement requests until such reports are
brought current.
COC funded assistance for persons who are homeless (“Homeless Projects”). ADOH
is required to administer the program during the contract term, which is synonymous
with the HUD grant term and as set forth in Section 4. Recipient must submit a
Bimonthly Performance Report attached hereto as Attachment B. The Bimonthly
Progress Report must be submitted to ADOH on the 20th of January, March, May, July,
September and November and address activities of the preceding two (2) months (i.e.
the January report covers the months of November and December). Recipient shall
submit Annual Progress Report (APR) data from HMIS to ADOH, no later than thirty
(30) days following the contract termination date listed on Page 1 of the Agreement.
HOPWA funded rental assistance and services (“HOPWA Projects”). A Recipient of
HOPWA awarded funding shall administer said program in the contract term as set
forth in Section 4 and submit one (1) HUD Consolidated Annual Performance Evaluation
Report (CAPER) in accordance with the schedule set forth in Attachment B no later
than sixty (60) days following the end of Fiscal Year date which is June 30th annually.
DOE WAP, LIHEAP WAP and SWG WAP funded projects (“Weatherization
Projects”). Recipient must submit a Monthly Performance Report attached hereto as
Attachment B. The Monthly Performance Report must be submitted to ADOH on the
30th (for the month of February, the last calendar day of the month) of each month and
address activities of the preceding month (i.e. the January 30th report covers the month
of December).
7.2 Contract Closeout—Completion Reports and Post-Funding Audits.
Recipient's obligation to ADOH under this Agreement shall not end until all closeout
requirements described in this paragraph are completed. ADOH will notify Recipient in
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Funding Agreement with
State of Arizona, Department of Housing
writing that a Completion Report is due to ADOH within sixty (60) days of one (1) of the
following occurrences:
(a) The funds have been expended;
(b) The Scope of Work has been completed;
(c) The contract period set forth in this Agreement has expired; or
(d) The Agreement has been otherwise terminated.
The Completion Report shall contain the information identified in the notice.
Following the receipt and approval of the Completion Report, ADOH will notify
Recipient in writing that the Agreement is administratively closed.
After the project is administratively closed, Recipient must submit all required audits
to ADOH. All audits for fiscal years in which Recipient received funds from ADOH must be
received, reviewed and found to be satisfactory by ADOH. In the event that ADOH
determines that any project costs described in a post funding audit are unjustified or describe
ineligible activities, Recipient will be required to refund such monies back to ADOH.
Section 8. SCHEDULE OF COMPLETION
Recipient agrees to make progress with the Scope of Work in accordance with the
Schedule of Completion hereby incorporated into this Agreement and described in Attachment
B.
Revisions to the Schedule of Completion. Recipient agrees to follow the procedures
indicated as marked below regarding changes to the Schedule of Completion.
Rental Projects funded with HOME or HTF. Recipient must notify ADOH of
revisions to the Schedule of Completion using the Bimonthly Performance Report, attached
hereto as Attachment B. To the extent that the changes cause the schedule timeline to
be extended, Recipient must submit a written request for a contract amendment to
ADOH with a revised Schedule of Completion attached. Contract amendment requests
must be received by ADOH a minimum of thirty (30) days prior to the contract
expiration date. ADOH will respond to the written request within fourteen (14)
business days. Amendments may not be implemented until ADOH consents in
writing and an amendment to the Agreement has been executed.
Non-Rental Projects funded with HOME, HTF and CDBG. Recipient must notify
ADOH of revisions to the Schedule of Completion using the Monthly Performance Report,
attached hereto as Attachment B. To the extent that the changes cause the schedule
timeline to be extended, Recipient must submit a written request for a contract
amendment to ADOH with a revised Schedule of Completion attached. Contract
amendment requests must be received by ADOH a minimum of thirty (30) days prior
to the contract expiration date. ADOH will respond to the written request within
REV. 10-30-18 7

Funding Agreement with
State of Arizona, Department of Housing
fourteen (14) business days. Amendments may not be implemented until ADOH
consents in writing and an amendment to the Agreement has been executed.
Homeless Projects funded with HTF, HPF or COC. To the extent that the changes
cause the schedule timeline to be extended, Recipient must submit a written request
for a contract amendment to ADOH with a revised Schedule of Completion and
Performance Report attached. Contract amendment requests must be received by
ADOH a minimum of thirty (30) days prior to the contract expiration date. ADOH
will respond to the written request within fourteen (14) business days. Amendments
may not be implemented until ADOH consents in writing and an amendment to the
Agreement has been executed.
Weatherization. Projects funded with DOE WAP, LIHEAP and/or SWG WAP.
Recipients will have twelve (12) months to complete the Scope of Work with no
extensions. ADOH may, based on a review of the progress of Recipient completed
units and expenditures, move funds from a non or under-performing Recipient to a
Recipient meeting or exceeding their performance goals. ADOH will review the
performance of the Recipient on a monthly basis. The first re-allocation of funds if
applicable would occur at six (6) months with additional re-allocations, if needed, at
the eight (8) month and ten (10) month time periods.
Section 9. BUDGET
Recipient agrees to use the funds provided pursuant to this Agreement in accordance
with the Budget that is attached as Attachment C. Recipient further agrees that any project
costs, unless otherwise specified, exceeding the Budget shall be the sole responsibility of
Recipient.
Availability of funding under this Agreement is contingent on final review and
approval of the Budget. Budgetary considerations for specific programs are described below:
CDBG Revisions to the Budget. Recipient must obtain written approval from ADOH
to move funds from one Budget Activity Line Item to another. The following
substantial revisions to the Budget require a contract amendment:
(a) Funds are moved from one Budget Activity Line Item to another and the change
in the Budget Activity Line from which it is moved or to which it is being moved
exceeds fifty percent (50%), unless the move is from administration to a non-
administration activity, in which case only written notice without a contract
amendment is required;
(b) Additional funding sources are added to the Project;
(c) Recipient is requesting a change to the grant terms.
REV. 10-30-18 8

Funding Agreement with
State of Arizona, Department of Housing
HOME, HOPWA, HPF, NHTF and HTF Revisions to the Budget. Recipient must
obtain prior written approval from ADOH to move funds from one Budget Activity
Line Item to another. ADOH will only approve changes to the Budget for eligible
costs as outlined in the State Housing Fund program. The following substantial
revisions to the Budget require a contract amendment:
(a) Additional funding sources are added to the project which require a project to
be re-underwritten to determine gap;
(b) Recipient is requesting a change to the loan terms.
WEATHERIZATION Revisions to the Budget. Recipient must obtain written
approval from ADOH to move funds from one Budget Activity Line Item to another.
See Section 10 for changes that affect the Budget.
Recipient shall not retain any funds that are drawn down in excess of immediate cash
needs (to be utilized within fifteen (15) days of draw down) to cover subsequent requests for
reimbursement and must return them to ADOH within thirty (30) days of receipt. Recipient
must also return to ADOH any interest that is earned on these funds that are drawn down
and not expended for eligible costs within fifteen (15) days of draw down.
Section 10. AMENDMENTS AND MODIFICATIONS
ADOH may consent to amendment or modification of this Agreement upon written
request of Recipient. All amendments or modifications to this Agreement shall be by mutual
consent of the parties in writing.
Requests for amendments or modifications that result in changes to the Budget must
be supported by a revised Budget that is otherwise consistent with Section 9.
ADOH will respond to the request for amendment or modification to this Agreement
within fourteen (14) business days.
Section 11. ENVIRONMENTAL REVIEW CONDITIONS
In accordance with 24 CFR 50 and 24 CFR 58 (“Environmental Review”), the
environmental effects of each activity carried out with federal funds must be assessed. Local
government entities are responsible for environmental reviews and requesting a release of
funds from ADOH. Non-profits and other non-governmental entities are responsible for
assisting ADOH with Environmental Reviews before ADOH requests a release of funds from
HUD. Completion of the Environmental Review Record (“ERR”) is mandatory before taking
any physical action on a site or entering into contracts. Only exempt activities such as
architecture, engineering and administration may be undertaken and reimbursed by ADOH
prior to receiving a written release of funds. Exempt activities described in 24 CFR 58.34(a)(1)-
REV. 10-30-18 9

Funding Agreement with
State of Arizona, Department of Housing
(11) are activities that generally have no physical impact on the environment. If federal funds
are involved in a project, neither federal nor non-federal funds may be expended or
committed by contract (conditional or not) for property acquisition, rehabilitation,
conversion, lease, repair or construction activities, until HUD or ADOH has provided written
authorization based on approval of an ERR.
An option agreement (to purchase land) on a proposed site or property is allowable
prior to the completion of the Environmental Review if the option agreement is contingent
upon an ADOH or HUD authorization to use funds based on a completed ERR. The cost of
the option must be a nominal portion of the purchase price.
Projects funded solely with Housing Trust Funds do not require an ERR but are
required to meet the requirements of the State Historic Preservation Act by consulting with
the State Historic Preservation Office (SHPO). For State Housing Funded projects, Phase I
Environmental Assessments are required to be completed on properties for which new
construction/change in use is proposed, regardless of whether federal or state funds are the
source of funding. Expenditures incurred or obligated by construction contract prior to
ADOH’s release of funds or consultation with SHPO will not be reimbursed by ADOH.
Recipients who had committed or expended non-federal funds to begin a project
before receiving the authorization from ADOH or HUD may still be eligible to use federal
funds on the project under the following circumstances:
(a) Recipients started the project without the intention of using federal assistance
(i.e. as evidenced by other anticipated funding, the original project budget, etc.);
(b) All work on the project ceases once an application for federal funds is made and
an ERR is begun on all activities (i.e. acquisition, construction, etc.). ADOH or
HUD provides authorization to proceed based on the completed ERR.
WEATHERIZATION (DOE WAP, LIHEAP WAP). DOE has made a final NEPA
determination for all activities under this Funding Agreement that are listed in the
State Plan formally approved by DOE and incorporated into this Funding Agreement.
Recipients are responsible for compliance with Section 106 pursuant to 36 CFR Part
800.2 (c)(4).
Section 12. APPLICATION AND OTHER PRE-AWARD COSTS
Recipient may use a portion of the funds provided hereunder to reimburse itself for
exempt activities pursuant to 24 CFR 58.34(a)(1)-(11) such as architecture, engineering, testing
and sampling of asbestos and capital needs assessments and environmental reviews.
CDBG. If Recipient is receiving funding under this Agreement from the CDBG
program, in accordance with federal procedures, Recipient may use funds provided
hereunder to reimburse it or to pay for costs incurred in preparing the application. In
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Funding Agreement with
State of Arizona, Department of Housing
no event shall such compensation exceed eighteen percent (18%) of the total funding
provided to Recipient by ADOH.
Section 13. COMPENSATION AND METHOD OF PAYMENT
Subject to availability of and receipt of funds from the State’s Unclaimed Property
Fund (for state HTF funds) and/or the United States Treasury (for HOME, CDBG, COC, NHTF
HOPWA, DOE WAP and LIHEAP WAP funds) and the commitment of other required
funding as indicated in Recipient's application, ADOH agrees to reimburse or advance
Recipient for authorized expenditures according to the Budget in Attachment C. Recipient
must maintain invoices and other similar documentation to support payment expenses under
those generally accepted accounting principles and procedures approved by ADOH and
outlined in 2 CFR 200 as applicable; 24 CFR Parts 44, 92 and 570 as applicable; and 10 CFR 440
and 600 as applicable.
Recipient may request funds only after the date of the executed Agreement and other
legal documents as applicable, provided Recipient has satisfied ADOH funding contingencies
and federal Environmental Review conditions. Requests for reimbursement must be made
using the ADOH Request for Payment form hereby incorporated into this Agreement and
attached as Attachment D. For construction projects, Release of Lien documents must be
attached to the Request for Payment in amounts proportionate to contractor reimbursement
requests.
Recipient must maintain proof of said expenditures including checks, payrolls, time
records, invoices, contracts, vouchers, orders and other accounting documents evidencing in
proper detail the nature and propriety of the respective charges as may be required by
applicable federal rules and regulations, including requirements by the Federal Office of
Management and Budget, and as may be otherwise reasonably required to permit ADOH to
determine or confirm that any such expenditures are prudent and within the Scope of Work.
Recipient’s right to incur expenses under this Agreement shall cease upon expiration
of this Agreement. All requests for reimbursement on expenditures made prior to expiration
of this Agreement must be requested within sixty (60) days after expiration. Unless expressly
authorized by ADOH in writing, expenditures not requested within the sixty (60) day period
after expiration of this Agreement shall be disallowed and all funds shall be reclaimed by
ADOH.
Section 14. FUNDS RECOUPED BY RECIPIENT, INTEREST AND PROGRAM
INCOME
14.1 Definitions. For purposes of this section, the following definitions shall apply:
“Funds Recouped by Recipient” means funds initially provided by ADOH to
Recipient under this Agreement and any matching contributions that are recouped by
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Funding Agreement with
State of Arizona, Department of Housing
Recipient when: (1) the funds provided by ADOH under this Agreement or matching
contributions or the proceeds of funds provided by ADOH (including, but not limited to,
equipment or housing) do not continue to be used for an approved purpose or eligible
activity, as described in applicable law or regulations, for the full period of affordability
required by this Agreement; or (2) when a State-assisted homeownership housing does not
continue to be the principal residence of the assisted homebuyer for the full affordability
period required by this Agreement. Funds Recouped by Recipient are subject to all the
requirements of Program Income described below with the exception that Recipient shall not
use Funds Recouped by Recipient for administrative purposes. For this reason, Recipient
must separately account for all Funds Recouped by Recipient.
“Interest” means any compensation paid or to be paid for the use or deposit of the
funds provided by ADOH to Recipient under this Agreement.
“Program Income” means gross income received by Recipient directly generated from
the use of funds provided by ADOH under this Agreement. When Program Income is
generated by housing that is only partially assisted with funds provided by ADOH under this
Agreement or matching contributions, the income shall be prorated to reflect the percentage
of funds provided by ADOH under this Agreement. Program Income includes, but is not
limited to, the following: (1) proceeds from the disposition by sale or long-term lease of real
property purchased or improved with funds provided by ADOH under this Agreement; (2)
gross income from the use or rental of real or personal property acquired by Recipient with
funds provided by ADOH under this Agreement, less costs incidental to generation of the
income; (3) payments of principal and interest on loans made using funds provided by ADOH
under this Agreement or matching contributions; (4) proceeds from the sale of loans made
with funds provided by ADOH under this Agreement or matching contributions; (5) proceeds
from sale of obligations secured by loans made with funds provided by ADOH under this
Agreement or matching contributions; (6) Interest earned on Program Income pending its
disposition; (7) proceeds from the disposition of equipment purchased with CDBG funds; (8)
gross income from the use or rental of real property, owned by Recipient, that was constructed
or improved with funds provided by ADOH under this Agreement, less costs incidental to
generation of the income; (9) if the funds provided by ADOH under this Agreement are from
the CDBG Program, funds collected through special assessments made against properties
owned and occupied by households not of low and moderate income, where the assessments
are used to recover all or part of the CDBG portion of a public improvement; and (10) if the
funds provided by ADOH under this Agreement are from the HOME Program, any other
interest or return on the investment permitted under 24 C.F.R. Part 92.205(b) of HOME funds
or matching contributions.
14.2 Use of Program Income and Funds Recouped by Recipient.
Recipient is not authorized by ADOH to retain and reuse Program Income, Funds
Recouped by Recipient or accrued Interest as described in the following paragraph(s) except
as authorized by ADOH through a written agreement.
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Funding Agreement with
State of Arizona, Department of Housing
Recipient must return all Program Income, Funds Recouped by Recipient and Interest
to ADOH within thirty (30) days of receipt.
Recipient must remit to ADOH any Program Income, Funds Recouped by Recipient
or Interest on hand at the time of expiration, cancellation, or termination of this Agreement
or subsequently received by Recipient within thirty (30) days of receipt by Recipient.
Section 15. DE-OBLIGATION, RECAPTURE AND REPAYMENT OF FUNDS
15.1 De-obligation. ADOH may reduce funds from the funding award evidenced
by this Agreement without regard to the source of funding, under the following
circumstances: (1) Recipient has completed performance under the Scope of Work (Attachment
A) without using all of the funds provided by ADOH under this Agreement; (2) this
Agreement expires and not all funds have been expended; (3) ADOH’s original allocation was
a loan and Recipient or Sub-recipient paid the loan; (4) Recipient, with the consent of ADOH,
cancelled or changed an activity required under the Scope of Work for reasons other than non-
performance; or (5) Recipient receives Program Income that has not been included in the
budget or set forth in the Scope of Work; and (6) this Agreement has otherwise been terminated.
ADOH may de-obligate funds under this Agreement under the foregoing circumstances upon
written notice to Recipient.
15.2 Reallocation of De-obligated HOME or State HTF Funds. If the funds
provided by ADOH under this Agreement are from the State HTF or the HOME Program,
ADOH may reallocate funds that it has de-obligated under this Agreement as it determines
in its sole discretion.
15.3 Reallocation of De-obligated CDBG Funds. If the funds provided by ADOH
under this Agreement are from the CDBG Program, ADOH may reallocate funds that it has
de-obligated under this Agreement to Recipient from which the funds were de-obligated for
use under an existing or new funding contract of the same funding year if Recipient can
immediately commit the reallocated funds to a project and execute a new or amended funding
contract within sixty (60) calendar days of the reallocation. If ADOH is not able to reallocate
funds that it has de-obligated under this Agreement in accordance with the foregoing
sentence of this subsection, ADOH may reallocate those funds as it determines in its sole
discretion.
15.4 Recapture. ADOH may reduce funds from the amount of the funding award
evidenced by this Agreement, without regard to the source of funding, under the following
circumstances: (1) ADOH determines that Recipient has failed to use the funds provided by
ADOH under this Agreement in compliance with the terms of this Agreement or the
requirements of applicable laws and regulations (non-compliance); or (2) Recipient fails to
perform in accordance with the performance obligations set forth in the Scope of Work
(Attachment A ) and the Schedule of Completion (Attachment B) or the terms of this Agreement.
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Funding Agreement with
State of Arizona, Department of Housing
ADOH may recapture funds under this Agreement under the foregoing circumstances upon
written notice to Recipient.
15.5 Reallocation of Recaptured Funds. ADOH may reallocate funds that it has
recaptured under this Agreement, without regard to the source of funding, as it determines
in its sole discretion.
15.6 Repayment of Funds. Recipient agrees to repay funds provided under this
contract if ADOH determines that Recipient has failed to use the funds provided by ADOH
under this Agreement in compliance with the terms of this Agreement or the requirements of
applicable laws and regulations. ADOH may specify in writing the terms of the repayment
or alternative terms in lieu of repayment; however, in no case shall repayment or alternative
terms be accomplished later than 180 days following the written determination of non-
compliance by ADOH.
Section 16. REVERSION OF ASSETS
16.1 Funds Remaining at Expiration. Upon expiration of this Agreement,
Recipient shall transfer to ADOH any unexpended funds advanced to Recipient by ADOH
under this Agreement.
16.2 Real Property Acquired or Improved with CDBG Funds. Upon expiration of
this Agreement, any real property under Recipient's control that was acquired or improved
in whole or in part with CDBG funds, for non-owner occupied use, provided to Recipient by
ADOH under this Agreement (including CDBG funds provided to Recipient in the form of a
loan) in excess of $25,000, shall either: (1) be used to meet one of the national objectives in 24
CFR Part 570.208 until five (5) years after expiration of this Agreement, or for such longer
period of time as determined to be appropriate by Recipient; or (2) not be used in accordance
with 24 CFR Part 570.503(b)(8)(i), in which event Recipient shall pay to ADOH an amount
equal to the current market value of the property less any portion of the value attributable to
expenditures of non-CDBG funds for the acquisition of, or improvement to, the property. No
payment is required after the period of time specified in 24 CFR Part 570.503 (b)(8)(i).
16.3 Real Property Acquired or Improved with HOME Funds. Upon expiration
of this Agreement, any real property under Recipient's control that was acquired or improved
in whole or in part with HOME funds, for non-owner occupied uses, provided to Recipient
by ADOH under this Agreement (including funds provided to Recipient in the form of a loan),
must be occupied only by households that are eligible as low-income families and must meet
the requirements to qualify as affordable housing and is subject to encumbrances and
obligations described in any applicable Declaration of Conditions, Covenants and Restrictions
(“CC&Rs”) for the period of affordability set forth in 24 CFR Part 92.252.
16.4 Real Property Acquired or Improved with State Housing Trust Funds. Upon
expiration of this Agreement, any real property under Recipient's control that was acquired
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Funding Agreement with
State of Arizona, Department of Housing
or improved in whole or in part with state HTF funds, for non-owner occupied uses, provided
to Recipient by ADOH under this Agreement (including funds provided to Recipient in the
form of a loan), must be occupied only by households that are eligible as low-income families
and must meet the requirements to qualify as affordable housing and is subject to
encumbrances and obligations described in any applicable Declaration of CC&Rs for the
period of affordability set forth in the CC&Rs.
Section 17. DEPARTMENT OF HOUSING RESPONSIBILITIES
ADOH shall monitor and evaluate Recipient to determine compliance with and
performance under this Agreement. A summary of discrepancies noted by ADOH during
monitoring visits will be specified in writing. Appropriate time for correction of discrepancies
will be specified in the written report to Recipient. ADOH shall follow up on discrepancies
to ensure that they have been corrected in a timely manner. The failure of ADOH to require
timely performance of any provision of this Agreement shall in no way affect the right of
ADOH thereafter to enforce such provision nor shall the waiver of any succeeding breach of
such provision act as waiver of the provision itself.
ADOH shall provide reasonable technical assistance to assist Recipient to comply with
program requirements for the provision of services under this Agreement. However, this in
no way relieves Recipient of full responsibility for its acts or omissions in the performance of
activities required by this Agreement.
Section 18. SUBCONTRACTING
Recipient shall not disburse any funds received under this Agreement without fully
completed written agreements with subcontractors requiring they follow all provisions of this
Agreement and a completed Environmental Review pursuant to Section 11 of this Agreement.
The use of subcontractors does not relieve Recipient of responsibility for ensuring the
administration of the provided funds in accordance with all applicable program
requirements. Recipient is responsible for determining the adequacy of performance under
subcontractor agreements and procurement contracts and for taking appropriate action when
performance issues arise.
Section 19. FAILURE TO MAKE PROGRESS
Failure of Recipient to make progress according to the Schedule of Completion,
attached hereto as Attachment B may result in contract termination, de-obligation of funds or
recapture of funds. Recipient agrees to meet with ADOH at the site in which the funded
activity is taking place to discuss progress and allow ADOH to provide technical assistance
if:
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Funding Agreement with
State of Arizona, Department of Housing
(a) Recipient fails to begin work on its Environmental Review pursuant to Section
11 within the sixty (60) calendar days from the date ADOH executes this
Agreement;
(b) Recipient fails to expend any funds in performance of and in accordance with
the terms of this Agreement within ninety (90) calendar days from the inception
date of this Agreement.
ADOH will terminate any Agreement and recapture funds from the same Agreement in
which Recipient does not commence any of the activities described in the Scope of Work
(Attachment A) or fails to expend any funds in accordance with the Budget (Attachment C)
within 180 calendar days from the full execution date of this Agreement. ADOH may in its
sole discretion, forgo providing technical assistance and recapture funds as outlined in this
Agreement under Section 15.4 hereof and/or terminate this Agreement for cause pursuant to
Section 20 of this Agreement.
Section 20. TERMINATION FOR CAUSE
ADOH may terminate this Agreement in whole or in part at any time whenever it
determines that Recipient has failed to comply with the conditions hereof including, but not
limited to the Scope of Work set forth in Attachment A, Schedule of Completion set forth in
Attachment B and Budget set forth in Attachment C to this Agreement. If ADOH so
determines, it shall notify Recipient in writing by certified mail, return receipt requested, of
such termination for cause with such notification to include the reason(s) for the termination
and the effective date of termination. If ADOH terminates this Agreement pursuant to this
Section, ADOH shall recapture all funds allocated to Recipient under this Agreement
pursuant to Section 15.4 hereof and obtain repayment of funds expended pursuant to Section
15.6, hereof.
Section 21. TERMINATION FOR CONVENIENCE
ADOH or Recipient may terminate this Agreement in whole or part (one (1) or more
activities) if either party believes that continuation will not produce beneficial results. If
ADOH so determines, it shall notify Recipient in writing by certified mail, return receipt
requested, of such termination for convenience and the effective date of termination. If
Recipient so determines, it shall notify ADOH in writing by certified mail, return receipt
requested, of such termination for convenience and the effective date of termination. If
ADOH terminates this Agreement pursuant to this Section, ADOH shall de-obligate,
recapture or receive repayment, as applicable, all funds allocated to Recipient under this
Agreement pursuant to Section 15 hereof.
Section 22. ENFORCEMENT
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Funding Agreement with
State of Arizona, Department of Housing
22.1 Remedies for Noncompliance. If Recipient materially fails to comply with any
term of this Agreement or applicable law, ADOH may take one or more of the following
actions, as appropriate in the circumstances:
(a) Temporarily withhold cash payments pending correction of the deficiency by
Recipient or more severe enforcement action by the awarding agency;
(b) Disallow (that is, deny both use of funds and matching credit for) all or part of
the cost of the activity or action not in compliance;
(c) Wholly or partly suspend or terminate the award evidenced by this Agreement;
(d) Withhold further awards to Recipient’s project funded by the award evidenced
by this Agreement;
(e) Recapture funds and terminate contract;
(f) Withhold future ADOH grant awards from all sources; or
(g) Take other remedies that may be legally available.
22.2 Appealable Agency Action. Enforcement action taken under this section is an
appealable agency action pursuant to A.R.S., Title 41, Chapter 6, Article 10.
22.3 Effects of suspension and termination. Costs incurred by Recipient resulting
from obligations incurred by Recipient during a suspension or after termination of an award
are not allowable unless ADOH expressly authorizes them in the notice of suspension or
termination or subsequently.
22.4 Relationship to debarment and suspension. The enforcement remedies
identified in this section, including suspension and termination, do not preclude Recipient
from being subject to “Debarment and Suspension” under the United States President’s
Executive Order 12549.
Section 23. CANCELLATION
Pursuant to A.R.S. § 38-511, either party may, within three (3) years after its execution,
cancel this Agreement, without penalty or further obligation, if any person significantly
involved in initiating, negotiating, securing, drafting or creating this Agreement on behalf of
a party, at any time while this Agreement or any extension of this Agreement is in effect, is or
becomes an employee or agent of any other party to this Agreement in any capacity or a
consultant to any other party of this Agreement with respect to the subject matter of the
contract. A cancellation notice made pursuant to this provision shall be effective when
Recipient receives written notice of the cancellation unless the notice specifies a later time.
Additionally, pursuant to A.R.S. § 38-511, a party may recoup from the other party any fee or
commission paid or due to any person who is or becomes an employee or agent of the other
party and who was significantly involved in initiating, negotiating, securing, drafting or
creating the contract on behalf of the party seeking recoupment.
Section 24. RECORDS RETENTION
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Funding Agreement with
State of Arizona, Department of Housing
Pursuant to A.R.S. § 35-214, Recipient shall retain and require that its subcontractors
retain for inspection and audit by ADOH, all books, accounts, reports, files including
information regarding actual beneficiaries of the fund, and other records relating to the
bidding and performance of this Agreement for a period of five (5) years following the date
of the letter informing Recipient of the Administrative Closeout or termination.
CDBG funded projects only: All CDBG records must be retained for at least three (3)
years after the grant agreement close out between HUD and ADOH has been
approved by HUD. ADOH will notify recipients of the records retention date of
expiration for CDBG funded projects.
WEATHERIZATION projects only: All records must be retained for at least three (3)
years after the grant agreement close out between DOE or SWG and ADOH has been
approved. ADOH will notify recipients of the records retention date of expiration for
Weatherization projects.
Upon request by ADOH, Recipient shall produce a legible copy of all such records at
the Administrative Office of ADOH or at the Office of the Auditor General. The original
records shall be available and produced for inspection and audit when required by ADOH or
the Auditor General.
Recipient shall maintain records that adequately identify the source and application
of the funds provided under this Agreement (including Program Income and Recaptured
Funds) as part of the financial transactions of their funding program, consistent with
generally accepted accounting principles and the requirements of 2 CFR 200. Recipient will
provide reports regarding the capture and reuse of Program Income and Recaptured Funds
as requested by ADOH from time to time.
In addition, in the event that the project resulted in Recipient holding any liens or
notes as a result of this funding, Recipient must retain all pertinent records for five (5) years
beyond the expiration or release of such liens or notes.
Section 25. NO OBLIGATION OF STATE GENERAL APPROPRIATIONS FUNDS
Nothing herein shall be construed as obligating state general appropriation funds,
excepting HTF funds, for payment of any debt or liability of any nature arising hereunder.
The parties expressly recognize that all payments to be made by ADOH are from federal
funds and HTF funds made available to ADOH for this purpose.
Section 26. AVAILABILITY OF FUNDS
Payments under this Agreement are subject to the availability of the federal funds
provided to the ADOH for the HOME and CDBG programs and the availability of state funds
provided for the state HTF Program. Every payment obligation of ADOH under this
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Funding Agreement with
State of Arizona, Department of Housing
Agreement is conditioned upon the availability of funds appropriated or allocated for the
payment of such obligation. If funds are not allocated and available for the continuance of
this Agreement, this Agreement may be terminated by ADOH at the end of the period for
which funds are available. No liability shall accrue to ADOH in the event this provision is
exercised, and ADOH shall not be obligated or liable for any future payments or for any
damages as a result of termination under this paragraph.
Section 27. APPLICABLE LAW AND ARBITRATION
This Agreement shall be governed and interpreted by the laws of the State of Arizona.
The parties to this Agreement agree to resolve all disputes arising out of or relating to this
Agreement through arbitration, after exhausting applicable administrative review, to the
extent required by A.R.S. § 12-1518 except as may be required by other applicable statutes.
Section 28. INDEMNIFICATION
Each party (as “Indemnitor”) agrees to indemnify, defend, and hold harmless the
other party (as “Indemnitee”) from and against all claims, losses, liability, costs, or expenses
(including reasonable attorneys’ fees) (hereinafter collectively referred to as “Claims”) arising
out of bodily injury (including death) of any person or property damage, but only to the extent
that such claims, which result in vicarious liability to the Indemnitee, are caused by the act,
omission, negligence, misconduct, or other fault of the Indemnitor, its officers, officials,
agents, employees, or volunteers.
Section 29. FEDERAL GOVERNMENT LIABILITY
It is agreed by all parties that the Federal Government and particularly the U.S.
Department of Housing and Urban Development (“HUD”) and the U.S. Department of
Energy (DOE) is not a party to this Agreement and that no legal liability on the part of the
Federal Government is inferred or implied under the terms of this Agreement.
Section 30. AUDIT
If federal funds are paid to Recipient through this Agreement, Recipient shall comply
with the audit requirements set forth in 2 CFR 200. Recipient shall comply with A.R.S. § 35-
181.03 if any state funds are paid through this Agreement. Recipient agrees to rectify issues
identified in audits within ADOH prescribed time periods. Failure to comply shall result in
withholding of all present and future ADOH provided funds.
Section 31. AUDIT EXCEPTIONS
If federal or state audit exceptions are made relating to this Agreement, Recipient shall
reimburse all costs incurred by the State of Arizona and ADOH associated with defending
against the audit exception or performing an audit or follow-up audit including but not
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Funding Agreement with
State of Arizona, Department of Housing
limited to: audit fees, court costs, attorney's fees based upon a reasonable hourly amount for
attorneys in the community, travel costs, penalty assessments and all other costs of whatever
nature.
Immediately upon notification from ADOH, Recipient shall reimburse the amount of
the audit exception and any other related costs directly to ADOH as specified by ADOH in
the notification.
Section 32. UNALLOWABLE USE OF FUNDS
Recipient, its officers, employees and agents, shall not utilize any of the federal funds
or HTF provided under this Agreement to solicit or influence, or attempt to solicit or
influence, directly or indirectly, any member of Congress regarding pending or prospective
legislation.
Section 33. INTEREST OF MEMBERS OF DEPARTMENT OF HOUSING AND OTHERS
No officer or employee of ADOH and no public official, employee or member of the
governing body of Recipient who exercises any functions or responsibilities in review or
approval of the undertaking or carrying out of this Agreement shall participate in any
decision relating to this Agreement which affects their personal interest or the interest of any
corporation, partnership or association in which they are directly or indirectly interested, or
have any interest, direct or indirect, in this Agreement or its proceeds.
Section 34. ACCESS TO RECORDS, PARTICIPANTS AND STAFF
Recipient agrees to provide ADOH and its representatives access at any reasonable
time to all participants and staff involved in this Agreement and to all records and reports
involving this Agreement.
Section 35. IDENTIFICATION OF DOCUMENTS
All materials used for public outreach and for informational purposes as a part of this
Agreement, other than documents exclusively for internal use by ADOH, shall identify the
source of federal (CDBG, HOME, NHTF, COC, HOPWA, DOE WAP, LIHEAP WAP) or state
(HTF) funds used as part of this Agreement as well as acknowledgement of support from
ADOH.
Section 36. COPYRIGHT
Reports, maps or other documents produced in whole or in part under this Agreement
are works for hire and shall not be the subject of any application for copyright by or on behalf
of Recipient, by any employee or subcontractor of Recipient. Recipient shall advise ADOH
or its designee at the time of delivery of any copyrighted or copyrightable work furnished
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Funding Agreement with
State of Arizona, Department of Housing
under this Agreement, or any adversely held copyrighted or copyrightable material
incorporated in any such work and of any invasion of the right of privacy therein contained.
Section 37. RIGHTS IN DATA
ADOH may duplicate, use and disclose in any manner and for any purpose whatsoever,
within the limits established by federal and state laws and regulations, all information relating
to this Agreement. All data collected or compiled, and all reports generated in connection
with the tasks and responsibilities to be performed by Recipient are the property of ADOH,
and Recipient only has ADOH’s permission to collect, compile or use such data for purposes
of fulfilling Recipient’s duties and responsibility in performing under this Agreement. At
ADOH’s request, Recipient shall provide access to all such data collected or compiled and
reports generated in connection therewith at no cost or expense to ADOH. This Section 37
shall survive termination of the Agreement.
Section 38. FUNDING CONDITIONS
ADOH will make the funding assistance available to Recipient upon execution of this
Agreement by the parties. The obligation and utilization of the funding assistance provided
through this Agreement are subject to the proper observation of the requirements
incorporated by reference. Recipient shall require any subcontracting entities to observe and
follow all provisions of this Agreement.
Section 39. NON-DISCRIMINATION
(a) Recipient shall comply with A.R.S. § 41-1463 and Executive Orders 99-4 and
2009-09, which prohibit Recipient from discriminating against persons, or
depriving or tending to deprive any individual of employment opportunities or
otherwise adversely affecting the individual's status as an employee on the basis
of race, color, religion, sex, age, national origin, disability or political affiliation
and require Recipient to take action to ensure that applicants are employed and
that employees are treated during employment without regard to race, color,
religion, sex, age, national origin, disability, or political affiliation. Recipient
shall comply with all of the other requirements of Executive Order 2009-09.
(b) Recipient agrees to comply with Title VII of the Civil Rights Act of 1964, as
amended. Recipient shall also comply with applicable federal regulations that
prohibit discrimination in the employment or advancement in employment of
qualified persons with disabilities. Recipient shall comply with all applicable
federal regulations regarding equal employment opportunity and relevant
orders issued by the U.S. Secretary of Labor. Recipient agrees to comply, and
will require any subcontractor(s) to comply with applicable federal
nondiscrimination requirements, which may include: Omnibus Crime Control
and Safe Streets Act of 1968 (42 U.S.C. §3789(d)); the Victims of Crime Act (42
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Funding Agreement with
State of Arizona, Department of Housing
U.S.C. §10604(e)); the Juvenile Justice and Delinquency Prevention Act of 2002
(42 U.S.C. §5672(b)); the Civil Rights Act of 1964 (42 U.S.C. §2000(d)); Section 504
of the Rehabilitation Act of 1973 (29 U.S.C. §794); Title II of the Americans with
Disabilities Act of 1990 (42 U.S.C. §§12132); Title IX of the Education
Amendments of 1972 (20 U.S.C. §1681); the Age Discrimination Act of 1975 (42
U.S.C. §6102); 28 C.F.R. pt. 35 (DOJ Regulations- Nondiscrimination on the Basis
of Disability in State and Local Government Services); 28 C.F.R. pt. 42 (DOJ
Regulations- Nondiscrimination; Equal Employment Opportunity; Policies and
Procedures); Executive Order 13279 (equal protection of the laws for faith-based
and community organizations); and 28 C.F.R. pt. 38 (DOJ Regulations- Equal
Treatment for Faith-Based Organizations).
Section 40. THIRD PARTY ANTITRUST VIOLATIONS
Recipient assigns to the State of Arizona any claim for overcharges resulting from
antitrust violations to the extent that such violations concern materials or services supplied
by third parties to Recipient toward fulfillment of this Agreement.
Section 41. COMPLIANCE REQUIREMENTS FOR A.R.S. § 41-4401—IMMIGRATION
LAWS AND E-VERIFY REQUIREMENT
(a) Recipient warrants compliance with all Federal immigration laws and
regulations relating to employees and warrants its compliance with Section
A.R.S. § 23-214, Subsection A. (That subsection reads: “After December 31, 2007,
every employer, after hiring an employee, shall verify the employment eligibility
of the employee through the E-Verify program.”)
(b) A breach of a warranty regarding compliance with immigration laws and
regulations shall be deemed a material breach of the contract and Recipient may
be subject to penalties up to and including termination of this Agreement.
(c) The ADOH retains the legal right to inspect the papers of any employee who
works on this Agreement to ensure that Recipient or Recipient’s subcontractor
is complying with the warranty under paragraph (a).
Section 42. INSURANCE
During the contract period, Recipient shall purchase and maintain in full force the
following insurance. All certifications of insurance must provide for a thirty (30) day notice
to ADOH of cancellation, non-renewal or material change. Proof of insurance from Recipient
shall be provided to ADOH prior to execution of this contract and periodic certifications must
be furnished at the request of the Program Specialist.
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Funding Agreement with
State of Arizona, Department of Housing
Recipient and its subcontractors, at Recipient’s and subcontractors’ own expense, shall
purchase and maintain the herein stipulated minimum insurance with companies duly
licensed, possessing a current A.M. Best, Inc. Rating of A-, 7, local government insurance
pools formed pursuant to ARS § 11-952.01 or other as approved by ADOH and licensed in the
State of Arizona with policies and forms satisfactory to ADOH.
All insurance required herein shall be maintained in full force and effect until all work
or service required to be performed under the terms of this Agreement is completed
satisfactorily and formally accepted; failure to do so may, at the sole discretion of ADOH,
constitute a material breach of this Agreement.
Recipient’s insurance shall be primary insurance as respects ADOH and any insurance
or self-insurance maintained by ADOH shall not contribute to it.
Recipient shall not fail to comply with the claim reporting provisions of the insurance
policies or cause any breach of an insurance policy warranty which would affect coverage
afforded under insurance policies to protect ADOH.
The insurance policies, except Worker’s Compensation, shall contain a waiver of
transfer of rights of recovery (subrogation) against ADOH, its agents, representatives,
directors, officers and employees for any claims arising out of Recipient’s acts, errors,
mistakes, omissions, work or service.
The insurance policies may provide coverage, which contain deductibles or self-
insured retentions. Such deductible and/or self-insured retentions shall not be applicable
with respect to the coverage provided to ADOH under such policies. Recipient shall be solely
responsible for the deductible and/or self-insured retention, and ADOH, at its option, may
require Recipient to secure payment of such deductibles or self-insured retentions by a Surety
Bond listing ADOH as the Obligee or co-Obligee or an irrevocable and unconditional letter of
credit.
ADOH reserves the right to request and to receive, within ten (10) working days,
certified copies of any or all of the herein required insurance policies and/or endorsements.
ADOH shall not be obligated, however, to review same or to advise Recipient of any
deficiencies in such policies and endorsements, and such receipt shall not relieve Recipient
from, or be deemed a waiver of ADOH’s right to insist on, strict fulfillment of Recipient’s
obligations under this Agreement.
The insurance policies, except Worker’s Compensation and Professional Liability,
required by this Agreement, shall name ADOH, its agents, representatives, officers, directors,
officials and employees as additionally insured.
42.1 Required Coverage
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Funding Agreement with
State of Arizona, Department of Housing
Commercial General Liability. Recipient shall maintain Commercial General
Liability insurance with a limit of not less than $1,000,000 for each occurrence with a
$2,000,000 Products/Completed Operations Aggregate and a $2,000,000 General Aggregate
Limit. The policy shall include coverage for bodily injury, broad form property damage,
personal injury, products and completed operations and blanket contractual coverage.
Coverage will be at least as broad as Insurance Service Office, Inc. Policy Form CG 00011093
or any replacements thereof.
Such policy shall contain a severability of interest provision and shall not contain a
sunset provision or commutation clause, nor any provision that would serve to limit third
party action over claims. The Commercial General Liability additional insured endorsement
shall be at least as broad as the Insurance Service Office, Inc. Additional Insured, Form B, CG
20101185, and shall include coverage for Recipient’s operations and products and completed
operations.
Automobile Liability. Recipient shall maintain Commercial/Business Automobile
Liability insurance with a combined single limit for bodily injury and property damage of not
less than $1,000,000 each occurrence with respect to Recipient’s any auto, all owned autos,
scheduled autos, hired autos, non-owned autos assigned to or used in performance of
Recipient’s work. Coverage will be at least as broad as coverage code 1, “any auto”,
(Insurance Service Office, Inc. Policy Form CA 00011293, or any replacements thereof).
Worker’s Compensation. Recipient shall carry Worker’s Compensation insurance to
cover obligations imposed by federal and state statutes having jurisdiction of Recipient’s
employees engaged in the performance of the work or services; and Employer’s Liability
insurance of not less than $100,000 for each accident, $100,000 disease for each employee and
$500,000 disease policy limit.
In case any work is subcontracted, Recipient will require the subcontractor to provide
Worker’s Compensation and Employer’s Liability to at least the same extent as required of
Recipient.
42.2 Certificates of Insurance
Prior to commencing work or services under this Agreement, Recipient shall furnish
ADOH with Certificates of Insurance, or formal endorsements as required by this Agreement,
issued by Recipient’s insurer(s), as evidence that policies providing the required coverage,
conditions and limits required by this Agreement are in full force and effect.
In the event any insurance policy(s) required by this contract is (are) written on a
“claims made” basis, coverage shall extend for two (2) years past completion and acceptance
of Recipient’s work or services and as evidenced by annual Certificates of Insurance.
If a policy does expire during the life of this Agreement, a renewal certificate must be
sent to ADOH fifteen (15) days prior to the expiration date.
REV. 10-30-18 24

Funding Agreement with
State of Arizona, Department of Housing
42.3 Cancellation and Expiration Notice
Insurance required herein shall not expire, be canceled, or materially changed without
thirty (30) days written notice to ADOH.
Section 43. PRIVACY CONSIDERATIONS
Recipients of federal funds (for the purpose of this section “federal funds” means
funding from the CDBG, HOME, HOPWA and COC programs; see Section 1, above) from
ADOH warrant and represent that commencing from the effective date of this Agreement and
until the latest expiration or termination date of any promissory note, deed of trust,
declaration or other agreement that secures the federal funds that are the subject of this
Agreement, Recipient and Recipient’s contractors shall comply with the requirements of the
federal Privacy Act, 5 U.S.C. § 552a. Recipient warrants and represents that it has read and
understands the requirements of the Federal Privacy Act and requires the same of its
contractors and subcontractors.
Section 44. NOTICES
When routine reports or correspondence is required to be sent to ADOH, it shall be
addressed to Arizona Department of Housing, to the attention of the assigned Program
Specialist at 1110 West Washington Street, Suite 280, Phoenix, Arizona 85007. Notices or
correspondence regarding material changes to the contract or requests for amendment shall
be addressed to the same. All correspondence regarding this Agreement must be identified
by its ADOH Agreement number (which is located on the top left hand corner of the first page
of this Agreement).
When notice or correspondence is required to be sent to Recipient, it shall be
addressed to:
MARICOPA COUNTY
Entity
SANDRA MENDEZ
Attention (if applicable)
234 N CENTRAL AVENUE, SUITE 3000
Mailing Address
PHOENIX, AZ 85004
City State Zip
Section 45. REGISTRATION WITH SOCIAL SERVE
For new construction or rehabilitation of rental projects, Recipient agrees to register
the project with socialserve.com and keep the project listed with socialserve.com for the duration
of the period of affordability as indicated in the Conditions, Covenants and Restrictions.
REV. 10-30-18 25

Funding Agreement with
State of Arizona, Department of Housing
Section 46. ADOH SIGNAGE
For new construction and rehabilitation projects, Recipient must erect a sign at the
project site indicating that the project is funded through the Arizona Department of Housing
and indicate the sources of funds. The sign must be a minimum size of twenty-four (24) inches
high by thirty-six (36) inches wide, include a minimum five (5) inch high ADOH logo and text
printed at a minimum seventy-two (72) point font. An individual ADOH sign does not have
to be provided if Recipient incorporates ADOH information into a larger group sign.
Section 47. PHOTOGRAPHS
For new construction and rehabilitation projects, Recipient is required to provide to
ADOH before and after photographs of the project in digital or film format.
Section 48. STATE OF ARIZONA
This Agreement shall be construed in accordance with the laws of the State of
Arizona.
Section 49. A.R.S. §35-393.01
Recipient warrants it is not engaged in a boycott of Israel as defined by A.R.S. §35-
393.01.
Unless and until the District Court's injunction in Jordahl v. Brnovich, et al., Case
No. 3:17-cv-08263 (D. Ariz.) is stayed or lifted, the Anti-Israel Boycott Provision (A.R.S.
35-393.01 (A)) is unenforceable and the State will take no action to enforce it. This
attachment (Participation in Boycott of Israel) is not a mandatory part of this Agreement
as long as the injunction remains in place.
Section 50. Severability
Any provision of this Agreement that is determined to be invalid, void or illegal by a
court shall in no way affect, impair or invalidate any other provision hereof, and the
remaining provisions shall remain in full force and effect.
Section 51. Employment Disclaimer
This Agreement is not intended to constitute, create, give rise to, or otherwise recognize
a joint venture agreement, partnership or other formal business association or organization of
any kind, and the rights and obligations of the parties shall be only those expressly set forth in
this Agreement.
REV. 10-30-18 26

Funding Agreement with
State of Arizona, Department of Housing
AGREED, effective as of the later date of the signatures of the duly authorized representatives
subscribed below:
THE STATE OF ARIZONA, MARICOPA COUNTY
ARIZONA DEPARTMENT OF HOUSING RECIPIENT
BY: BY:
Carol L. Ditmore
TITLE: Director TITLE: Chairman of the Board of
Supervisors
DATE: DATE:
REV. 10-30-18 27

Funding Agreement with
State of Arizona, Department of Housing
ATTACHMENT A
MARICOPA COUNTY
#523-19
SCOPE OF WORK
SUMMARY:
The Arizona Department of Housing (ADOH) has determined that eviction
prevention services may be needed to address the high numbers of evictions
happening in the state. The goal of this pilot program is to increase access to
informative and efficient eviction prevention services in particular courts in the state
of Arizona. This involves providing funding, collecting and analyzing data,
developing strategies for efficiency, and strengthening best practices around eviction
issues. Services include a comprehensive eligibility assessment, financial assistance,
information and referral, and other non-financial case management services including
housing assistance, crisis management services, referrals to legal aid, budgeting and
financial management education materials.
Maricopa County, Recipient shall administer eviction prevention assistance, in the
following 12 zip codes in Maricopa County; 85033, 85037, 85035, 85043, 85019, 85029,
85031, 85051, 85345, 85355, 85363, 85392 targeting Manistee and Country Meadows
Justice Courts for approximately 212 households. Households eligible to receive
assistance must have received a formal, five day non-payment of rent notice from the
property manager/landlord and have a total household income at/or below sixty
percent (60%) of Area Median Income (AMI). Recipient will screen and evaluate
households for financial assistance based on a comprehensive assessment (see Exhibit
1) and will provide eligible households with eviction prevention financial assistance
as specified by the ADOH Eviction Prevention Policy guideline. (Attachment E)
By the signing of this contract, Recipient is certifying that the agency is not presently
debarred, suspended, proposed for debarment, declared ineligible, or voluntarily
excluded from covered transactions by any Federal or state debarment agency.
28

Funding Agreement with
State of Arizona, Department of Housing
TERM OF AGREEMENT:
This Agreement is herein executed for a fifteen (15) month period from February 1,
2019 to April 30, 2020. Additional one (1) year renewals may be available at the
discretion of ADOH based upon project performance and availability of funding.
Renewals may involve a new Scope of Work, Performance Timeline, and/or Grant
amount to be negotiated with the entity selected for contracting.
EXPENDITURE RATE:
Recipient shall submit Request for Payments (Attachment D) within 30 days of the end
of each month for expenditures actually incurred, with supporting documentation for all
funds to be reimbursed.
KEY DUTIES INCLUDE:
A. Conducting a comprehensive eligibility assessment
1) Schedule an initial eligibility interview within 48 hours of initial contact with
the household. (Prescreening can be started over the phone for eligibility)
2) Ensure that the household meets all eligibility criteria as specified on the
ADOH Eviction Prevention Policy Guideline.
3) Administer Eligibility Assessment to determine level of need and sustainability
of the leasing contract. If leasing obligations are not financially sustainable make
referrals for other resources as appropriate.
4) Communicate and discuss all eligible services with household, determine
desired services and action steps. (Financial, program referral, budgeting education)
B. Determining level of financial assistance needed
1) Gather all household income verification documents including any assets that
are currently being held by household members. Verification documents may include
pay stubs, bank statements, disability letters, etc.
29

Funding Agreement with
State of Arizona, Department of Housing
2) Utilize household budgeting worksheet to determine and demonstrate a 90 day
sustainability window of the monthly leasing obligations. If a 90 day sustainability
window is not present, advise the household that financial assistance is not
warranted.
3) Initiate contact with landlord and issue payment voucher if and when financial
assistance is appropriate. Provide approximate time frame to both the landlord and
household of when to expect the financial assistance voucher.
C. Providing communication and advocacy with landlords on behalf of eligible
households
1) Initiate contact with landlord or managing entity to discuss the Eviction
Prevention Program assistance relating to the household.
2) Discuss options that are available to the household regarding the pending
eviction under the lease.
3) Assist household, if necessary, in the identification of other housing options
which demonstrate sustainability based on household budget.
4) Discuss options with the household, which may include time frames for
vacating the unit, resolving unpaid rent and/or other fees with program
assistance or which are critical to the household maintaining housing.
D. Making appropriate referrals for Assistance
1) Determine household referral needs based on the initial assessment.
2) Make referrals to the appropriate legal entity.
3) Facilitate any additional services for households, up to and including rental
financial assistance if deemed appropriate.
E. Making appropriate referrals for non-eligible applicants
30

Funding Agreement with
State of Arizona, Department of Housing
1) Determine what alternative services are needed and what services for which
the household is eligible.
2) Coordinate with other service providers for referral up to and including a
referral for shelter and or to the homeless coordinated entry system.
3) Assist households in scheduling and confirming appointments with other
providers who can best meet the household’s needs.
F. Providing education, budgeting, and financial management materials to
reinforce sustainability
1) Assist household in creating a sustainable budget which correlates with the
monthly household income. Budgeting worksheets may be agency specific but
should include at minimum the following: rent, utilities, food, and
transportation.
2) Provide resources and options that households can utilize to supplement their
monthly income including utility assistance programs, food assistance
programs (SNAP), and or employment enhancement services.
3) Offer additional financial management and education classes, where
applicable, to households who would benefit from additional support in
creating and adhering to a monthly budget. Education classes may be agency
specific and may fluctuate in availability depending on staffing and capacity.
G. Provide a follow up in 90 days to verify that homeless prevention was effective
1) Initiate a minimum of one follow up contact within 90 days of service provision
with households who have received financial assistance.
2) Assess and verify household status, i.e. the household continues to remain
stable in housing.
3) Determine if any additional support or services are needed
31

Funding Agreement with
State of Arizona, Department of Housing
4) Document and submit the result of the contact as a positive outcome or a non-
positive outcome within the monthly report.
PERFORMANCE MEASURES:
1) One hundred percent (100%) of households will be assessed for housing
options.
2) Seventy-five percent (75%) of households will remain housed three
months after being financially assisted.
3) Ten percent (10%) of households will engage with other options, ie
financial literacy.
REPORTING REQUIREMENTS:
Recipient shall submit a monthly report attached to the monthly Request for
Payment which will include:
1) Total number of eviction prevention assessments administered (Including
those denied)
2) Total number of households receiving financial assistance
3) Total dollar amount per household
4) Zip Code for the Justice precinct
5) Number of households referred for legal assistance
6) Total positive and non-positive outcomes within 90 follow up window
32

Attachment B- Page 33
NAME OF AGENCY:
Arizona Department of Housing contract # :
Reporting Period:
Total HH Total Budgeting Referral for Justice
Five Day Notice Eviction Notice Income (Last 30 Income Amount 90 Day Sustainability Mitigation Education Legal Aid Made Precinct/Zip Date of Date of Date of Positive or
Complete Address Client Name (Y/N) (Y/N) Days) Source Lease Term Owed (Y/N) Provided (Y/N) Provided (Y/N) (Y/N) Code Assessment Assistance Follow Up Negative Outcome Comments

HTF Eviction Prevention- Maricopa County Attachment C- Page 34
Budget ADOH- #523-19
Recipient Maricopa County Date
Contract No./File No. 523-19 Contract Period:from 02/01/2019-04/30/2020 Revision No.
Activity HTF Administration, HTF Support Services, HTF Prevention Assistance
Recipient Address 234 N. Central Ave. Suite 3000 City Phoenix
Contact Person Sandra Mendez Fax
Phone 602-506-2316 Email Sandra.Mendez@Maricopa.gov Zip Code 85004
Program Specialist Ryan Vernick Email Ryan.Vernick@azhousing.gov County Maricopa
a c d e f g h
Budget Line Item or HTF Source Source Source Source Source
Activity No. 2019 Program Year Program Year Program Year Program Year Program Year
Act. 1 Administration $ 17,553.00
Act. 2 Support Services $ 86,297.00
Act. 3 Prevention Assistance $ 360,400.00
Total $ 464,250.00 $ - $ -
REV. 8-2013

HTF Eviction Prevention- Maricopa County Attachment D- Page 35
ARIZONA DEPARTMENT OF HOUSING REQUEST FOR PAYMENT SUMMARY SHEET PAGE 1 OF 2
Recipient Maricopa County Date
Contract No 523-19 Contract Period: from 02/01/2019-04/30/2020 Pay Req. No/Mo
Activity HTF Administration, Support Services, Prevention Assistance Direct Wire Dep Yes X No
Recipient Address 234 N. Central Ave. Suite 3000 City Phoenix
Contact Person Sandra Mendez ZIP 85004
Phone 602-506-2316 Email Sandra.Mendez@Maricopa.gov Fax
Program Specialist Ryan Vernick Email Ryan.Vernick@azhousing.gov County Maricopa
Itemized Payment Statement (Sheet 2 of 2) must accompany this form. Include copies of timesheets and other backup
documentation. ORIGINAL SIGNATURES are required for processing.
a b c d e f g h
Budget Line Item or IDIS HTF HUD-COC Total Amount Balance in Amount of this New
Activity No. Act No. 2019 Req. to Date Account Request Balance
Act. 1 Administration $17,553.00 $17,553.00 $ 17,553.00
Act. 2 Support Services $86,297.00 $86,297.00 $ 86,297.00
Act. 3 Prevention Assist. $360,400.00 $360,400.00 $ 360,400.00
$ - $ -
$ - $ -
$ - $ -
$ - $ -
$ - $ -
Total $ 464,250.00 $ - $ - $ 464,250.00 $ - $ 464,250.00
Recipient Authorized Signature Date Title
Recipient Authorized Signatory certifies that all activities undertaken by the contractor with funds provided under this contract have been carried
out in accordance with the contract. Attach wiring information if not previously submitted. Attach alternate mailing address if necessary.
Performance Reports Current Not Current
For ADOH Use
Only
ADOH Program Specialist Approval Date ADOH Program Administrator Approva Date

¡‘’‹’ȱŗ
Eviction Prevention Assessment Form
Household Information (include all persons living with youͲ ƵƐĞ ĂĚĚŝƚŝŽŶĂů ƐŚĞĞƚƐ ĂƐ ŶĞĐĞƐƐĂƌLJͿ͗
Marital
Full Name Phone SS # DOB Ethnicity Gender Education
Status
›Žœœȱ˜ȱ Ÿ’Œ’˜—DZ
Financial Assistance Assessment Questions:
1) What type of housing do you live in (house, apt, mobile home)? __ ________________________
a) If mobile, is it skirted? Y N
2) Do you have a current lease agreement? Y N
3) What is the current monthly contracted rental amount? $__ _______
4) Is rent more than 50% of your income? Y N
a) If yes, how long has rent been more than 50 % of income? _____________________ __ ____
b) If yes, how long have you lived at that address? _____________ _ _
c) If yes, have any other programs assisted you before now? ______________ __
5) What caused you to seek assistance? ________________________ ___ ___
6) Are you experiencing a crisis situation? Y N
7) Have you received a Five Day Notice from your landlord? Y N
8) Have you been given an eviction notice from your landlord? Y N
9) How long have you lived at your current address? ____________________________________ __
10) How many times in the last 12 months have you been late in payment of rent? (among all
addresses in previous 12 months) __________________________________ ___ _
11) If late, what resources did you have/use to pay rent? (i.e. savings, friends, family, church)?
________________________________________________________________________ __ __

¡‘’‹’ȱŗ
1) If provided with financial assistance, can your current leasing obligations be maintained for the
next 90 days? (If not, proceed to mitigation assistance questions). Y N
Income Information
Income By Household Income Source Income Income Frequency Total Monthly Assets
Member Name Verification Income
Budgeting/Financial Management Education Assessment questions
2) Please explain to how you manage the income received by your household:
_________________________________ _________________ __ _______
a) What gets paid first, second, third etc.? ______________ __ __ _ __
b) When crisis occur how do you generally work thru them? ____ ____
________ __ ___
3) Are there any outside factors that are impacting your monthly budget? (i.e. debt, fines, medical,
etc.):_____________________________________________________ ________________ __
4) Have you ever applied for or used additional services to supplement your income? (i.e. food
banks or programs, utility assistance, etc.?) __________________________ __________ ___
5) Do you need information on resources that are available in your community? Y N
6) Are you interested in learning more about managing a monthly budget? Y N
Mitigation Assistance Assessment Questions:
7) What is the term of your current lease? ______ ________
8) Has your household income changed within the term of your lease? Y N
Explain: _____ __ __
9) Have you ever discussed re-negotiating the term of the lease with your landlord? Y N
Explain: ______ ___ __
10) Is there anything else that has changed which has potential to impact your portion of the leasing
obligations? ________ _________________________________ ___
Eviction Prevention Assessment Form Page 2

¡‘’‹’ȱŗ
11) Are there any unpaid or outstanding late fees that are owed to your landlord? Y N
If yes, how much? ____ __ ____
12) Are there other affordable housing options that you have identified? __________ _________ __
13) Are there any special considerations which will impact the finding of a new affordable unit, such
as proximity to work, transportation limitations, proximity to family members, etc.?
_______________________________________________ _
Legal Assistance Assessment Questions:
1) Is the five day notice for the correct amount? _____________________ __________ ____
2) If you own your mobile home and rent a space, were you given a 7-day notice? ___ ___
3) Are there late fees on the notice and if so, does the lease state there can be late fees?
________________________________ ___________________________________ ___
4) Do you have problems with your apartment (heat, water, air conditioning) and have you told
your landlord about it? ____________________________________ _ ___
5) Did you try to pay any part of your rent and did your landlord accept it? Y N
6) Are you in subsidized housing? ____________________________________________ __
7) Did a third party or agency pay any part of your rent? _______________________________ _ __
Head of Household ___________________________________________ Date ______________
Program Staff_____________________________________________ Date______________
Eviction Prevention Assessment Form Page 3

Attachment E
EVICTION PREVENTION POLICY
GUIDELINE
ELIGIBILITY
1) All Eviction Prevention Projects will be administered using an income threshold of 60% or
below Area Median Income (AMI).
2) Participant eligibility will be based on an Eviction Prevention assessment which is to be
administered at the initial contact with participant.
3) Eligible participants must show an official form of identification proof of income (from the last
30 days) in the form of bank statements, pay stubs, benefit letter/statement, or another official
form of income verification.
4) Eligible participants must demonstrate a 90 day rental sustainability window in order to receive
financial assistance and agree to be contacted.
a. This will be determined using HH budgeting worksheet
b. If 90 day SW cannot be established, mitigation/lease negotiation should be next step
with appropriate referrals
SCHEDULING
1) The ADOH eligibility assessment should be conducted within 48 hours of initial contact with
household
2) Financial Assistance should be scheduled in conjunction with agency voucher distribution
policies and procedures. (Landlords should be advised of voucher timeframes)
3) Eviction Prevention education resources are offered within the 90 sustainability window
FOLLOW THROUGH
1) Program staff will verify that financial assistance voucher has been received by the landlord
2) Each participant will receive a minimum of one contact from program staff within the 90 day
sustainability window to determine if the housing has been maintained.
REPORTING REQUIREMENTS
1) All reporting data must be submitted with the Request for Payment
2) Reports must include a brief narrative (describing the intervention) in the notes section for each
case that is handled
3) Reports must include verification of Justice Court location
4) Monthly reporting includes monthly meetings with the ADOH staff
36

Certification Regarding U.S. Department of Housing
and Urban Development
Debarment and Suspension
Certification A: Certification Regarding Debarment, Suspension, and
Other Responsibility Matters - Primary Covered Transactions
1. The prospective primary participant certifies to the best of its knowl- 4. The prospective primary participant shall provide immediate writ-
edge and belief that its principals; ten notice to the department or agency to whom this proposal is
a. Are not presently debarred, suspended, proposed for debarment, submitted if at any time the prospective primary participant learns that
declared ineligible, or voluntarily excluded from covered transactions its certification was erroneous when submitted or has become errone-
by any Federal debarment or agency; ous by reason of changed circumstances.
b. Have not within a three-year period preceding this proposal, 5. The terms covered transaction, debarred, suspended, ineligible,
been convicted of or had a civil judgment rendered against them for lower tier covered transaction, participant, person, primary cov-
commission of fraud or a criminal offense in connection with obtain- ered transaction, principal, proposal, and voluntarily excluded, as
ing, attempting to obtain, or performing a public (Federal, State, or used in this clause, have the meanings set out in the Definitions and
local) transaction or contract under a public transaction; violation of Coverage sections of the rules implementing Executive Order 12549.
Federal or State antitrust statutes or commission of embezzlement, theft, You may contact the department or agency to which this proposal is
forgery, bribery, falsification, or destruction of records, making false being submitted for assistance in obtaining a copy of these regulations.
statements, or receiving stolen property; 6. The prospective primary participant agrees by submitting this
c. Are not presently indicted for or otherwise criminally or civilly proposal that, should the proposed covered transaction be entered into,
charged by a governmental entity (Federal, State, or local) with it shall not knowingly enter into any lower tier covered transaction
commission of any of the offenses enumerated in paragraph (1)(b) of with a person who is debarred, suspended, declared ineligible, or
this certification; and voluntarily excluded from participation in this covered transaction,
unless authorized by the department or agency entering into this
d. Have not within a three-year period preceding this application/ transaction.
proposal had one or more public transactions (Federal, State, or local)
terminated for cause or default. 7. The prospective primary participant further agrees by submitting
this proposal that it will include the clause titled “Certification
2. Where the prospective primary participant is unable to certify to Regarding Debarment, Suspension, Ineligibility and Voluntary Exclu-
any of the statements in this certification, such prospective participant sion - Lower Tier Covered Transaction,” provided by the department
shall attach an explanation to this proposal. or agency entering into this covered transaction, without modification,
Instructions for Certification (A) in all lower tier covered transactions and in all solicitations for lower
tier covered transactions.
1. By signing and submitting this proposal, the prospective primary
participant is providing the certification set out below. 8. A participant in a covered transaction may rely upon a certification
of a prospective participant in a lower tier covered transaction that it
2. The inability of a person to provide the certification required below is not debarred, suspended, ineligible, or voluntarily excluded from the
will not necessarily result in denial of participation in this covered covered transaction, unless it knows that the certification is erroneous.
transaction. The prospective participant shall submit an explanation A participant may decide the method and frequency by which it
of why it cannot provide the certification set out below. The certifi- determines this eligibility of its principals. Each participant may, but
cation or explanation will be considered in connection with the is not required to, check the Nonprocurement List.
department or agency’s determination whether to enter into this
transaction. However, failure of the prospective primary participant to 9. Nothing contained in the foregoing shall be construed to require
furnish a certification or an explanation shall disqualify such person establishment of a system of records in order to render in good faith the
from participation in this transaction. certification required by this clause. The knowledge and information
of a participant is not required to exceed that which is normally
3. The certification in this clause is a material representation of fact possessed by a prudent person in the ordinary course of business
upon which reliance was place when the department or agency deter- dealings.
mined to enter into this transaction. If it is later determined that the
prospective primary participant knowingly rendered an erroneous 10. Except for transactions authorized under paragraph (6) of these
certification, in addition to other remedies available to the Federal instructions, if a participant in a covered transaction knowingly enters
Government, the department or agency may terminate this transaction into a lower tier covered transaction with a person who is suspended,
for cause of default. debarred, ineligible, or voluntarily excluded from participation in this
transaction, in addition to other remedies available to the Federal
Government, the department or agency may terminate this transaction
for cause of default.
Page 1 of 2 form HUD-2992 (3/98)

Certification B: Certification Regarding Debarment, Suspension, Ineli-
gibility and Voluntary Exclusion - Lower Tier Covered Transactions
1. The prospective lower tier participant certifies, by submission of 5. The prospective lower tier participant agrees by submitting this
this proposal, that neither it nor its principals is presently debarred, proposal that, should the proposed covered transaction be entered into,
suspended, proposed for debarment, declared ineligible, or voluntarily it shall not knowingly enter into any lower tier covered transaction
excluded from participation in this transaction by any Federal depart- with a person who is debarred, suspended, declared ineligible, or
ment or agency. voluntarily excluded from participation in this covered transaction,
unless authorized by the department or agency with which this trans-
2. Where the prospective lower tier participant is unable to certify to action originated.
any of the statements in this certification, such prospective participant
shall attach an explanation to this proposal. 6. The prospective lower tier participant further agrees by submitting
this proposal that it will include this clause titled “Certification
Instructions for Certification (B) Regarding Debarment, Suspension, Ineligibility and Voluntary Exclu-
1. By signing and submitting this proposal, the prospective lower tier sion - Lower Tier Covered Transaction,” without modification, in all
participant is providing the certification set out below. lower tier covered transactions and in all solicitations for lower tier
covered transactions.
2. The certification in this clause is a material representation of fact
upon which reliance was placed when this transaction was entered into. 7. A participant in a covered transaction may rely upon a certification
If it is later determined that the prospective lower tier participant of a prospective participant in a lower tier covered transaction that it
knowingly rendered an erroneous certification, in addition to other is not debarred, suspended, ineligible, or voluntarily excluded from the
remedies available to the Federal Government, the department or covered transaction, unless it knows that the certification is erroneous.
agency with which this transaction originated may pursue available A participant may decide the method and frequency by which it
remedies, including suspension and/or debarment. determines the eligibility of its principals. Each participant may, but
is not required to, check the Nonprocurement List.
3. The prospective lower tier participant shall provide immediate
written notice to the person to which this proposal is submitted if at any 8. Nothing contained in the foregoing shall be construed to require
time the prospective lower tier participant learns that its certification establishment of a system of records in order to render in good faith the
was erroneous when submitted or has become erroneous by reason of certification required by this clause. The knowledge and information
changed circumstances. of a participant is not required to exceed that which is normally
possessed by a prudent person in the ordinary course of business
4. The terms covered transaction, debarred, suspended, ineligible, dealings.
lower tier covered transaction, participant, person, primary cov-
ered transaction, principal, proposal, and voluntarily excluded, as 9. Except for transactions authorized under paragraph (5) of these
used in this clause, have the meanings set out in the Definitions and instructions, if a participant in a lower covered transaction knowingly
Coverage sections of rules implementing Executive Order 12549. You enters into a lower tier covered transaction with a person who is
may contact the person to which this proposal is submitted for assis- suspended, debarred, ineligible, or voluntarily excluded from partici-
tance in obtaining a copy of these regulations. pation in this transaction, in addition to other remedies available to the
Federal Government, the department or agency with which this trans-
action originated may pursue available remedies including suspension
and/or debarment.
Applicant Date
Signature of Authorized Certifying Official Title
Page 2 of 2 form HUD-2992 (3/98)